DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

M••••• A•••••••• I•••

Former SEC-registered adviserPaoli, PennsylvaniaCRD 170092SEC 801-79319IAPD
Latest filing Nov 18, 2015
First filing on the tape Feb 28, 2014 · 16 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
14
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$0 as of Nov 18, 2015
Feb 28, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Nov 18, 2015
Feb 28, 20140 then
Employees (5.A)14 as of Nov 18, 2015
Feb 28, 20142 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Nov 18, 2015; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.4derivedItem 5.A over advisors
Advisors per office
10.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
0reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • H•••••••• L••••• L• · Directorcontrol
    since 06/2015 · owns less than 5%
  • P•••• D•••• A•••• · President, Director & Chief Compliance Officercontrol
    since 06/2015 · owns less than 5%
  • R•••••• M••••• A•• · Director Of Operationscontrol
    since 06/2015 · owns less than 5%
  • S•••••••• J••••• A•• · Directorcontrol
    since 06/2015 · owns less than 5%
Entity owners
  • S•• H•••••••• I••• · Shareholder
    direct · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • BD registered reps · 9 to 10
    Aug 21, 2015 to Sep 11, 2015
  • Advisory employees · 0 to 10
    May 11, 2015 to Jun 30, 2015
  • Advisory activities · 3 to 4
    May 11, 2015 to Jun 30, 2015
  • BD registered reps · 2 to 9
    May 11, 2015 to Jun 30, 2015
  • Employees · 2 to 14
    May 11, 2015 to Jun 30, 2015
  • Insurance-licensed employees · 1 to 0
    May 11, 2015 to Jun 30, 2015
  • HQ city · ATLANTA to PAOLI
    May 11, 2015 to Jun 30, 2015
  • HQ state · GA to PA
    May 11, 2015 to Jun 30, 2015
  • State-registered IARs · 0 to 10
    May 11, 2015 to Jun 30, 2015
  • Business name · S••• I••• to M••••• A•••••••• I•••
    Apr 22, 2015 to May 11, 2015
  • Legal name · S••• I••• to M••••• A•••••••• I•••
    Apr 22, 2015 to May 11, 2015
Signals
1 dated events
  • S••• I••• filed its initial SEC registration (Form ADV)
    Feb 28, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026